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U.S. Securities and Exchange Commission

                           SEC NEWS DIGEST

Issue 2007-235                                        December 7, 2007



Settlement is Largest to Date in an Options Backdating Case

On  December 6, the Commission announced a record $468 million settled
enforcement  action  in  an options backdating case against William W.
McGuire,  M.D., the former Chief Executive Officer and Chairman of the
Board  of  UnitedHealth Group Inc. The settlement is the first with an
individual  under  the  "clawback"  provision  (Section  304)  of  the
Sarbanes-Oxley Act to deprive corporate executives of their stock sale
profits  and  bonuses  earned  while  their  companies were misleading

The  Commission's  complaint  alleges  that  during  a 12-year period,
McGuire  repeatedly  caused  the company to grant undisclosed, in-the-
money  stock  options  to  himself and other UnitedHealth officers and
employees  without  recording in the company's books and disclosing to
shareholders  material amounts of compensation expenses as required by
applicable  accounting  rules.  Without admitting or denying the SEC's
charges,  McGuire  agreed to a $468 million settlement that includes a
$7  million  civil  penalty and reimbursement to the Minneapolis-based
health  care  company for all incentive- and equity-based compensation
he received from 2003 through 2006. 

The  Commission's  complaint  alleges  that from at least 1994 through
2005, McGuire looked back over a window of time and picked grant dates
for UnitedHealth options that coincided with dates of historically low
quarterly  closing prices for the company's common stock, resulting in
grants  of  in-the-money  options. According to the complaint, McGuire
signed  and  approved  backdated documents falsely indicating that the
options  had  actually  been  granted  on  these  earlier  dates  when
UnitedHealth's  stock  price  was  at  or near these low points. These
inaccurate  documents  caused  the  company to understate compensation
expenses  for  stock  options,  and  were  routinely  provided  to the
company's  external  auditors  in  connection  with  their  audits and
reviews of UnitedHealth's financial statements.

According   to  the  SEC's  complaint,  UnitedHealth  filed  with  the
Commission   quarterly  and  annual  reports,  proxy  statements,  and
registration  statements  that  McGuire  knew,  or was reckless in not
knowing,   contained   materially   false   and  misleading statements
concerning  the  true  grant dates and proper exercise prices of stock
options.  Because  of  McGuire's  misconduct, investors were misled to
believe  that  stock  options were granted with strike prices not less
than  the  fair  market  value  of UnitedHealth's stock on the date of
grant  and  in accordance with the terms of the company's stock option
plans.  In  March 2007, UnitedHealth restated its financial statements
for   each  year  from  1994  through  2005,  and  disclosed  material
cumulative  pre-tax errors in stock-based compensation accounting that
totaled $1.526 billion for that period.

The  Commission's  complaint  further  alleges  that from 1994 through
2005,  McGuire personally received more than 44 million split-adjusted
UnitedHealth  options,  most  or  all of which were backdated. McGuire
exercised and sold more than 11 million of these backdated options for
an  in-the-money  gain  of more than $6 million. McGuire also received
nearly  $5  million  of  incentive-based cash bonuses in 2005 and 2006
tied  to  earnings  per share targets that UnitedHealth would not have
achieved  under  financial statements restated due to errors in stock-
based compensation accounting.

Without  admitting  or  denying  the  allegations  of the Commission's
complaint,  McGuire  consented  to  the  entry of an order permanently
enjoining  him from violating or aiding and abetting violations of the
antifraud,   reporting,   record-keeping,   internal   controls, proxy
statement,   certification,   and   securities   ownership   reporting
provisions  of  the  federal  securities  laws,  and  barring him from
serving  as an officer or director of a public company for a period of
10  years.  McGuire  will (i) disgorge ill-gotten gains of $10,997,596
with  $1,697,492  in prejudgment interest, (ii) pay a $7 million civil
penalty,  and (iii) pursuant to Section 304 of the Sarbanes-Oxley Act,
reimburse   UnitedHealth   for   all   incentive-   and   equity-based
compensation   he   received   from   2003   through   2006,  totaling
approximately  $448 million in cash bonuses, profits from the exercise
and sale of UnitedHealth stock, and unexercised UnitedHealth options. 

Under  the  terms  of  the  settlement,  McGuire's  disgorgement  plus
prejudgment interest and his Section 304 reimbursement would be deemed
satisfied  by his return to UnitedHealth of approximately $600 million
in cash and UnitedHealth options pursuant to the terms of his separate
settlement     with  the  company,  also  announced  today,  resolving
employment  claims  and  shareholder derivative lawsuits filed against
McGuire in state and federal courts in Minnesota. McGuire's settlement
with the SEC is subject to the approval of the U.S. District Court for
the District of Minnesota.

The  Commission  acknowledges  the  assistance  of the U.S. Attorney's
Office  for  the  Southern  District  of  New York and the U.S. Postal
Inspection Service. The Commission's investigation is continuing. [SEC
v.  William  W.  McGuire,  M.D., Civil Action No. C.A. No. 07-CV-4779-
JMR/FLN (D. Minn. 2007)] (LR-20387; Press Rel. 2007-255)


The  Commission  announced today that on Nov. 29, 2007, a federal jury
returned  a verdict in the SEC's favor on all securities fraud charges
against   former  registered  representative  Sheldon  A.  Strauss  of
Cleveland,  Ohio,  a  defendant in a previously-filed civil injunctive
action  involving a multi-faceted scheme to manipulate the stock price
of  Competitive  Technologies,  Inc.,  (CTT), a technology development
company  located  in Fairfield, Connecticut. In addition, the jury was
unable  to reach verdicts on most of the charges against two remaining
defendants:  Richard  A.  Kwak,  a  registered representative formerly
associated  with  a  broker-dealer  in  San  Diego,  CA and Stephen J.
Wilson, a registered representative formerly associated with a broker-
dealer  in  Media,  PA.  Yesterday, the SEC informed the Court that it
will  retry  its  case  against  Kwak and Wilson at a future date. The
verdict  against  Strauss  followed  a three-week trial in Bridgeport,
Connecticut before the Honorable Janet Hall, U.S. District Court Judge
for the District of Connecticut.

The  Commission's complaint, filed against a total of eight defendants
on Aug. 11, 2004, alleged that the defendants participated in a scheme
to  manipulate  and  inflate the price of CTT stock from at least July
1998   to  June  2001.  The  complaint  alleged  that  the  defendants
artificially  raised  and  maintained  the  price  of  CTT's stock and
created  a  false  or misleading appearance with respect to the market
for  CTT  stock  through  manipulative  practices  such as placing buy
orders  at  or  near  the  close of the market in order to inflate the
reported  closing  price ("marking the close"), placing successive buy
orders  in  small  amounts at increasing prices ("painting the tape"),
and  using  accounts they controlled or serviced to place pre-arranged
buy  and  sell orders in virtually identical amounts (placing "matched

The SEC also announced that on Oct. 26, 2007 and on Oct. 31, 2007, the
Court  in this case entered final judgments by consent against four of
the original defendants: CTT; Frank McPike of Ridgefield, Connecticut,
the  former  CEO  of  CTT;  John  R.  Glushko,  formerly  a registered
representative  associated  with a broker-dealer in Las Vegas, Nevada;
and  former  registered  representative  Thomas C. Kocherhans of Orem,

The  judgments  against  CTT, McPike, Glushko and Kocherhans, to which
they     consented  without  admitting  or  denying  the  Commission's
allegations, enjoin them from violating Sections 9(a) and 10(b) of the
Securities  and  Exchange  Act  of  1934 (Exchange Act) and Rule 10b-5
thereunder  and,  as  to Glushko and Kocherhans only, Section 17(a) of
the  Securities Act of 1933 (Securities Act). Additionally, McPike and
Kocherhans  have agreed to pay civil penalties of $60,000 and $50,000,
respectively. Glushko was also held liable for $10,000 in disgorgement
plus  $8,308  in prejudgment interest, but payment of the disgorgement
and  prejudgment  interest  amounts  were  waived  and  no penalty was
imposed  based  upon  Glushko's  financial  condition.  The Court will
determine  whether  additional sanctions, including a bar from serving
as an officer or director of any public company, are warranted against
McPike at a later date.

The jury found Strauss liable for violating Sections 9(a) and 10(b) of
the  Exchange  Act  and Rule 10b-5 thereunder and Section 17(a) of the
Securities  Act. In addition, the jury found Strauss liable for aiding
and  abetting  defendant and former registered representative Chauncey
Steele's  violations  of  Sections 9(a) and 10(b) of the Exchange Act.
Steele previously settled the Commission's action against him in 2005.
The  district  court  will  determine  the  appropriate  sanctions and
remedies  against Strauss at a later date. In addition, the jury found
that  Kwak and Wilson had not violated Section 17(a) of the Securities
Act,  but  the jury could not reach a verdict on the remaining charges
against them, including Sections 9(a) and 10(b) of the Exchange Act.

For  further  information  about  the  Commission's  action  in SEC v.
Competitive   Technologies,  Inc.,  et  al.,  see  Litigation  Release
No.18827 (Aug. 11, 2004), Litigation Release No. 19320 (Aug. 2, 2005),
and   Exchange  Act  Release  No.  56785  (Nov.  14,  2007).  [SEC  v.
Competitive  Technologies, Inc., et. al., Civil Action No. 304 CV 1331
JCH (District of Connecticut)] (LR-20388)


The  Commission  announced  today  that  it  has partially settled its
enforcement  action,  which involves charges of a deliberate "pump and
dump"  scheme to defraud investors in the stock of Aimsi Technologies,
Inc.  against  Defendant Reginald Hall, the Chief Executive Officer of
Aimsi Technologies, Inc. On December 3, the Honorable Louis L. Stanton
of  the  U.S.  District  Court  for  the Southern District of New York
entered  a  partial final judgment against Hall that enjoined him from
violating  Sections  17(a)  of the Securities Act of 1933 and 10(b) of
the  Securities  Exchange  Act  of 1934 and Rule 10b-5 thereunder. The
judgment  also prohibits Hall from acting as an officer or director of
a  public  company,  and  requires  him  to  pay  a civil penalty, and
disgorgement and prejudgment interest in an amount to be determined by
the  Court  upon  motion  by  the Commission. The Commission filed its
action  on  an  emergency  basis  on May 16, 2005, alleging that Aimsi
Technologies,  Inc.,  Hall and a group of stock promoters engaged in a
deliberate  "pump  and  dump"  scheme  to  defraud investors, in which
Defendants  acquired  a  substantial  stake  in  the  shares of Aimsi,
orchestrated  a  fraudulent promotional campaign to drive up the price
and  trading  volume of Aimsi's stock, and then sold their shares at a
substantial profit to the investing public after their plan succeeded.
The  complaint alleges that before the Commission suspended trading in
Aimsi's  stock on Dec. 15, 2004, the Defendants earned illicit trading
profits  of at least $3.1 million. In connection with the Commission's
filing  of  the  complaint,  it  also obtained a temporary restraining
order   that,  among  other  things,  froze  Defendants'  assets.  The
complaint charges violations of Section 17(a) of the Securities Act of
1933,  Section  10(b) of the Securities Exchange Act of 1934, and Rule
10b-5.  The  litigation  is  pending against the remaining Defendants.
[SEC v. Aimsi Technologies, Inc., et al., 05 CV 4724 (LLS) (S.D.N.Y.)]



The  Commission  granted  approval  of a proposed rule change (SR-CHX-
2007-22) filed by the Chicago Stock Exchange under Section 19(b)(1) of
the  Securities  Exchange  Act  of 1934 to amend rules relating to the
execution  of  odd  lot  market orders. Publication is expected in the
Federal Register during the week of December 10. (Rel. 34-56900)


The American Stock Exchange filed a proposed rule change and Amendment
No.  1  thereto  (SR-Amex-2007-20)  under Rule 19b-4 of the Securities
Exchange  Act  of  1934 related to amending complex orders procedures.
Publication  is  expected  in  the Federal Register during the week of
December 10. (Rel. 34-56901)

NYSE  Arca,  through  its wholly owned subsidiary, NYSE Arca Equities,
Inc.,  filed a proposed rule change (SR-NYSEArca-2007-122) relating to
certain  modifications  to  the  initial  listing standards for Index-
Linked Securities pursuant to Rule 19b-4 under the Securities Exchange
Act  of  1934.  Publication is expected in the Federal Register during
the week of December 10. (Rel. 34-56907)

NYSE Arca filed a proposed rule change (SR-NYSEArca-2007-121) relating
to  Rule  6.37B  and  the  quoting  obligations of Lead Market Makers.
Publication  is  expected  in  the Federal Register during the week of
December 10. (Rel. 34-56908)

NYSE  Arca,  through  its wholly owned subsidiary, NYSE Arca Equities,
Inc.,  filed a proposed rule change (SR-NYSEArca-2007-125) relating to
the  continued  listing  standards  for Equity Index-Linked Securities
pursuant  to  Rule  19b-4  under  the Securities Exchange Act of 1934.
Publication  is  expected  in  the Federal Register during the week of
December 10. (Rel. 34-56918)


A  proposed  rule  change filed by The NASDAQ Stock Market (SR-NASDAQ-
2007-087)  to  modify  fees for members using the Nasdaq Market Center
has  become  effective  under  Section  19(b)(3)(A)  of the Securities
Exchange  Act of 1934. Publication is expected in the Federal Register
during the week of December 10. (Rel. 34-56905)


The  Commission  published notice of, and granted accelerated approval
to,  a  proposed  rule  change  (SR-NYSEArca-2007-103), as modified by
Amendment  No.  1  thereto, submitted by NYSE Arca, through its wholly
owned  subsidiary,  NYSE  Arca  Equities, Inc., pursuant to Rule 19b-4
under the Securities Exchange Act of 1934 to amend the initial listing
standards for Other Securities. Publication is expected in the Federal
Register during the week of December 10. (Rel. 34-56906)

The  Commission issued notice of, and granted accelerated approval to,
a  proposed rule change (SR-NASDAQ-2007-071), as modified by Amendment
Nos.  1,  2,  and  3  thereto,  submitted  by  The NASDAQ Stock Market
pursuant  to  Rule  19b-4  under  the  Securities Exchange Act of 1934
relating to generic listing and trading rules for securities linked to
the  performance  of indexes, commodities, and currencies. Publication
is  expected  in  the Federal Register during the week of December 10.
(Rel. 34-56910)



The  Consolidated  Tape  Association has filed an amendment to the CTA
Plan  (CTA Plan) to permit Participants to report to the Processor the
actual  number of shares for each transaction (exclusive of odd-lots),
rather  than  to report the number of round lots for each transaction.
Publication  is  expected  in  the Federal Register during the week of
December 10. (Rel. 34-56904)


The  following  registration  statements  have been filed with the SEC
under  the Securities Act of 1933. The reported information appears as
follows:  Form,  Name,  Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities   being  offered;  Name  of  the  managing  underwriter  or
depositor  (if  applicable);  File  number  and  date  filed; Assigned
Branch; and a designation if the statement is a New Issue. 

Registration statements may be obtained in person or by writing to the
Commission's     Public  Reference  Branch  at  100  F  Street,  N.E.,
Washington,  D.C.  20549-1090  or at the following e-mail box address:
publicinfo@sec.gov.  In most cases, this information is also available
on the Commission's website: www.sec.gov.

        92653-1512, 9497709347 - 3,000,000 ($750,000.00) Equity, 
        (File 333-147854 - Dec. 6) (BR. 03A)

        201.791.3200 - 1,295,047 ($1,579,957.34) Equity, (File 333-147855 - 
        Dec. 6) (BR. 11C)

        703-287-5800 - 0 ($300,000,000.00) Equity, (File 333-147856 - Dec. 6) 
        (BR. 08C)

S-4     Oracle Healthcare Acquisition Corp., 200 GREENWICH AVENUE, GREENWICH, 
        CT, 06830, 203-862-7900 - 35,916,667 ($281,586,669.00) Equity, 
        (File 333-147857 - Dec. 6) (BR. 09)

        9738200400 - 5,897,335 ($67,052,698.95) Equity, (File 333-147858 - 
        Dec. 6) (BR. 02A)

        858 272 6600 - 6,316,854 ($631,685.00) Equity, (File 333-147861 - 
        Dec. 6) (BR. 06A)

        00000, 011442071665660 - 50,000,000 ($2,500,000.00) ADRs/ADSs, 
        (File 333-147862 - Dec. 6) (BR. 05C)

        MEXICO NUEVO LEON, O5, 66265, 5283291200 - 
        100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-147863 - Dec. 6) 
        (BR. 06A)

        011442071665660 - 50,000,000 ($2,500,000.00) ADRs/ADSs, 
        (File 333-147864 - Dec. 6) (BR. 05C)

S-1     GLG Partners, Inc., 390 PARK AVENUE, 20TH FLOOR, NEW YORK, NY, 10022, 
        212-224-7200 - 84,150,406 ($727,348,062.00) Equity, (File 333-147865 - 
        Dec. 6) (BR. 06C)

        6509404700 - 269,000 ($1,932,140.00) Equity, (File 333-147866 - Dec. 6) 
        (BR. 10B)

S-8     Amtrust Financial Services, Inc., 59 MAIDEN LANE, 6TH FLOOR, NEW YORK, 
        NY, 10038, (212) 220-7120 - 0 ($62,446,760.00) Equity, 
        (File 333-147867 - Dec. 6) (BR. 01B)

S-8     CHAUS BERNARD INC, 800 SECAUCUS ROAD, NEW YORK, NY, 10018, 2018634646 - 
        0 ($59,000.00) Equity, (File 333-147868 - Dec. 6) (BR. 09B)

        WASHINGTON, DC, 20036, 2027723133 - 5,000,000 ($2,600,000.00) Equity, 
        (File 333-147869 - Dec. 6) (BR. 01B)

        7146625600 - 0 ($30,857,054.00) Equity, (File 333-147870 - Dec. 6) 
        (BR. 03B)

S-4     Catalent Pharma Solutions, Inc., 14 SCHOOLHOUSE ROAD, SOMERSET, NJ, 
        08873, (732) 537-6200 - 0 ($893,455,000.00) Non-Convertible Debt, 
        (File 333-147871 - Dec. 6) (BR. )

S-8     SIERRA WIRELESS INC, 1,733,178 ($28,042,820.04) Equity, 
        (File 333-147872 - Dec. 6) (BR. 11C)


Form 8-K is used by companies to file current reports on the following
1.01	Entry into a Material Definitive Agreement		
1.02	Termination of a Material Definitive Agreement		
1.03	Bankruptcy or Receivership	
2.01	Completion of Acquisition or Disposition of Assets	
2.02	Results of Operations and Financial Condition	
2.03	Creation of a Direct Financial Obligation or an Obligation under an 
	Off-Balance Sheet Arrangement of a Registrant		
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation 
	under an Off-Balance Sheet Arrangement		
2.05	Cost Associated with Exit or Disposal Activities		
2.06	Material Impairments		
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or 
	Standard; Transfer of Listing		
3.02	Unregistered Sales of Equity Securities		
3.03	Material Modifications to Rights of Security Holders		
4.01	Changes in Registrant's Certifying Accountant	
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit
	Report or Completed Interim Review		
5.01	Changes in Control of Registrant	
5.02	Departure of Directors or Principal Officers; Election of Directors; 
	Appointment of Principal Officers	
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a 
	Provision of the Code of Ethics	
6.01. 	ABS Informational and Computational Material.
6.02.  	Change of Servicer or Trustee.
6.03.  	Change in Credit Enhancement or Other External Support.
6.04. 	Failure to Make a Required Distribution.
6.05.  	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure	
8.01	Other Events	
9.01	Financial Statements and Exhibits	

8-K   reports  may  be  obtained  in  person  or  by  writing  to  the
Commission's     Public  Reference  Branch  at  100  F  Street,  N.E.,
Washington,  D.C.  20549-1090  or at the following e-mail box address:
publicinfo@sec.gov.  In most cases, this information is also available
on the Commission's website: www.sec.gov.

NAME OF ISSUER                         CODE   	 8K ITEM NO.		        DATE       COMMENT
99 CENTS ONLY STORES                    CA       5.03,9.01                      11/30/07

ABERCROMBIE & FITCH CO /DE/             DE       7.01,9.01                      12/06/07

Acadia Resources Inc.                   NV       1.01,2.01,5.01,5.02,5.06,9.01  11/28/07

ACCENTURE SCA                                    3.02                           11/30/07

ACCEPTANCE INSURANCE COMPANIES INC      DE       8.01,9.01                      12/06/07

ACTEL CORP                              CA       7.01,9.01                      12/06/07

ACTIVISION INC /NY                      DE       1.01,3.02,3.03,5.02,9.01       12/01/07

ADVANCED TECHNOLOGIES GROUP LTD         NV       8.01                           12/05/07

AEHR TEST SYSTEMS                       CA       5.03,9.01                      12/05/07

AEROPOSTALE INC                                  7.01,9.01                      12/06/07

ALBEMARLE CORP                          VA       8.01,9.01                      11/30/07

ALDILA INC                              DE       1.01,2.01,9.01                 11/30/07

ALEXANDER & BALDWIN INC                 HI       8.01,9.01                      11/30/07

ALLERGAN INC                            DE       5.02,9.01                      12/03/07

Allied Security Holdings LLC            DE       5.02                           12/04/07

Allis Chalmers Energy Inc.              DE       1.01,5.02,9.01                 12/06/07

AMERCO /NV/                             NV       7.01,9.01                      12/06/07

AMERICAN AFFORDABLE HOUSING II LIMITE   MA       8.01                           12/06/07

AMERICAN CONSUMERS INC                  GA       2.03,9.01                      11/30/07

AMERICAN SOFTWARE INC                   GA       2.02,9.01                      12/06/07

AMERICAN SOIL TECHNOLOGIES INC          NV       1.01                           10/31/07

AMERIWEST ENERGY CORP.                  NV       4.01                           12/06/07

AMIS HOLDINGS INC                                5.02                           12/01/07

AMSURG CORP                             TN       5.02,9.01                      12/01/07

ANALOGIC CORP                           MA       2.02,9.01                      12/06/07

Andover Medical, Inc.                   DE       7.01,9.01                      12/05/07

ANNTAYLOR STORES CORP                   DE       7.01,9.01                      12/06/07

ARQULE INC                              DE       8.01,9.01                      11/29/07

ARUBA NETWORKS, INC.                    DE       1.01,2.03,9.01                 11/30/07

ATRION CORP                             DE       5.03,9.01                      12/03/07

AVAX TECHNOLOGIES INC                   DE       1.01,5.02,9.01                 12/01/07

AXSYS TECHNOLOGIES INC                  DE       1.01,2.01,5.02,9.01            11/30/07

Bancorp of New Jersey, Inc.             NJ       8.01,9.01                      12/06/07

Bancorp, Inc.                                    2.01,3.02,9.01                 11/30/07

BANK JOS A CLOTHIERS INC /DE/           DE       7.01,9.01                      12/06/07

BANK OF FLORIDA CORP                    FL       7.01,9.01                      12/05/07

BIG DOG HOLDINGS INC                    DE       2.02,9.01                      12/05/07

BIG LOTS INC                            OH       2.02,8.01,9.01                 11/30/07

BON TON STORES INC                      PA       8.01,9.01                      12/05/07

BOSTON FINANCIAL TAX CREDIT FUND PLUS   MA       7.01,9.01                      12/06/07

BPI Energy Holdings, Inc.                        2.02,9.01                      12/05/07

Bradford Bancorp Inc /MD                         8.01,9.01                      12/06/07

BRIGGS & STRATTON CORP                  WI       1.01,8.01,9.01                 11/27/07

Bronco Drilling Company, Inc.           DE       8.01                           12/06/07

Brooklyn Federal Bancorp, Inc.          X1       1.01,9.01                      12/04/07

C&D TECHNOLOGIES INC                    DE       2.02,5.02,5.03,9.01            12/04/07

C-BASS 2007-CB5 Trust                   DE       1.03                           11/30/07

CALAIS RESOURCES INC                             3.02                           11/30/07

CALPINE CORP                            DE       7.01,9.01                      12/05/07

CANYON COPPER CORP.                              1.01,5.02,7.01,9.01            11/30/07

Cape Bancorp, Inc.                      MD       8.01,9.01                      12/06/07

CAPITAL GROWTH SYSTEMS INC /FL/         FL       1.01,3.02,9.01                 11/30/07

CASCADE CORP                            OR       5.02                           12/02/07

CASCADE MICROTECH INC                            5.02,9.01                      12/05/07

CASELLA WASTE SYSTEMS INC               DE       2.02,5.02,9.01                 12/03/07

CASEYS GENERAL STORES INC               IA       2.02,9.01                      12/06/07

CBL & ASSOCIATES PROPERTIES INC         DE       1.01,2.03,9.01                 11/30/07

CCH II LLC                                       5.02,9.01                      11/30/07

CCO HOLDINGS LLC                                 5.02,9.01                      11/30/07

CENTENE CORP                                     7.01,9.01                      12/06/07

CENTEX CORP                             NV       8.01                           12/06/07

Centro NP LLC                           MD       1.01,2.01,9.01                 11/30/07

CHARTER COMMUNICATIONS HOLDINGS LLC     DE       5.02,9.01                      11/30/07

CHARTER COMMUNICATIONS INC /MO/         DE       5.02,9.01                      11/30/07

CHARYS HOLDING CO INC                            4.01,9.01                      11/28/07

CHECKFREE CORP \GA\                     DE       5.02,7.01,9.01                 11/30/07

CHEESECAKE FACTORY INC                  DE       8.01,9.01                      12/03/07

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01                      12/06/07

CHESAPEAKE ENERGY CORP                  OK       8.01,9.01                      12/03/07

CINCINNATI BELL INC                     OH       1.01,7.01,9.01                 11/30/07

CINTAS CORP                             WA       1.01,9.01                      12/04/07

CMS ENERGY CORP                         MI       1.01,9.01                      11/30/07

COBIZ FINANCIAL INC                     CO       7.01,9.01                      12/04/07

COGNIGEN NETWORKS INC                   CO       2.01,8.01,9.01                 11/30/07

Commerce Planet                         UT       7.01,9.01                      12/06/07

COMMONWEALTH EDISON CO                  IL       8.01,9.01                      10/26/07

COMMSCOPE INC                           DE       8.01,9.01                      12/06/07

COMTECH TELECOMMUNICATIONS CORP /DE/    DE       1.01,8.01,9.01                 12/06/07

Comverge, Inc.                          DE       1.01,9.01                      12/05/07

CONSOLIDATED CAPITAL INSTITUTIONAL PR   CA       1.01,2.03,9.01                 11/30/07

CONSOLIDATED CAPITAL INSTITUTIONAL PR   CA       1.01,2.03,9.01                 11/30/07

CONSOLIDATED CAPITAL PROPERTIES IV      CA       1.01,2.03,9.01                 11/30/07

CONVERSION SERVICES INTERNATIONAL INC   DE       1.01,5.02,9.01                 12/03/07

CORNERSTONE BANCORP/SC                  SC       5.02,9.01                      12/05/07

CORNERSTONE REALTY FUND LLC             CA       8.01,9.01                      12/03/07

COVANTA HOLDING CORP                    DE       5.02,9.01                      12/06/07

Covidien Ltd.                           D0       2.02,9.01                      12/06/07

CRITICAL PATH INC                       CA       8.01,9.01                      12/05/07

Customer Acquisition Network Holdings   DE       1.01,2.03,9.01                 11/30/07

CYBER DIGITAL INC                       NY       1.01                           11/30/07

Deja Foods Inc                                   1.03,3.03,5.01,5.02,5.03,9.01  12/03/07

DEL GLOBAL TECHNOLOGIES CORP            NY       5.03,9.01                      12/05/07

dELiAs, Inc.                            DE       5.02                           12/03/07

DEVELOPERS DIVERSIFIED REALTY CORP      OH       5.02                           12/01/07

DEVRY INC                               DE       8.01,9.01                      12/06/07

DIVX INC                                         5.02,9.01                      11/30/07

DOMINION MINERALS CORP                  DE       5.02,9.01                      12/03/07

DOMINOS PIZZA INC                                1.01,9.01                      12/03/07

DOW JONES & CO INC                      DE       5.02,9.01                      12/06/07

DURECT CORP                             DE       8.01,9.01                      12/06/07

Eastern Insurance Holdings, Inc.        PA       8.01,9.01                      12/05/07

EDAC TECHNOLOGIES CORP                  WI       8.01,9.01                      12/05/07

EL PASO CORP/DE                         DE       5.03,9.01                      12/06/07

ELECTRONIC DATA SYSTEMS CORP /DE/       DE       5.02                           12/04/07

EMC INSURANCE GROUP INC                 IA       5.03                           12/03/07

EMERSON RADIO CORP                      DE       5.02,9.01                      12/01/07

EMMIS COMMUNICATIONS CORP               IN       5.03,9.01                      12/04/07

EMPIRE DISTRICT ELECTRIC CO             KS       8.01                           12/04/07

Emrise CORP                             DE       1.01,1.02,2.03,3.02,9.01       11/30/07

EN POINTE TECHNOLOGIES INC              DE       2.02                           12/05/07

EN2GO INTERNATIONAL INC                 NV       4.01,9.01                      12/06/07    AMEND

Endeavor Explorations Inc.              NV       5.01,5.02                      12/06/07

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01                      12/06/07

ENERGEN CORP                            AL       8.01                           12/04/07

Energy Infrastructure Acquisition Cor   DE       1.01,7.01,9.01                 12/03/07

EnteroMedics Inc                                 8.01                           12/03/07

ENVIRONMENTAL POWER CORP                DE       1.01                           11/30/07

EQUISTAR CHEMICALS LP                   DE       3.03,9.01                      12/06/07

ESCO TECHNOLOGIES INC                   MO       1.01,2.01,2.03,9.01            11/30/07

EXELIXIS INC                            DE       7.01                           12/05/07

EXELON CORP                             PA       8.01,9.01                      10/26/07

EXELON GENERATION CO LLC                         8.01,9.01                      10/26/07

Expedia, Inc.                                    5.02                           12/04/07

Exterra Energy Inc.                     NV       5.02                           12/05/07

FAMILY DOLLAR STORES INC                DE       2.02,9.01                      12/06/07

FAMOUS DAVES OF AMERICA INC             MN       5.02,9.01                      12/03/07

Federal Home Loan Bank of Atlanta       X1       2.03                           12/03/07

Federal Home Loan Bank of Boston        X1       2.03                           12/03/07

Federal Home Loan Bank of Chicago       X1       2.03                           12/03/07

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01                      12/04/07

Federal Home Loan Bank of Des Moines    X1       2.03,9.01                      12/03/07

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01                      12/03/07

Federal Home Loan Bank of New York      X1       2.03,9.01                      12/03/07

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      12/03/07

Federal Home Loan Bank of San Francis   X1       2.03                           12/03/07

Federal Home Loan Bank of Seattle                2.03                           12/06/07

Federal Home Loan Bank of Topeka                 2.03                           12/03/07

FERRELLGAS PARTNERS L P                 DE       2.02,7.01,9.01                 10/31/07

FERRELLGAS PARTNERS L P                 DE       2.02,8.01,9.01                 07/31/07

FGX International Holdings LTD                   2.02,7.01,9.01                 12/06/07

FINISH LINE INC /IN/                    IN       2.02,9.01                      12/06/07

FIRST INVESTORS FINANCIAL SERVICES GR   TX       2.02,9.01                      12/06/07

FIRST POTOMAC REALTY TRUST              MD       1.01,9.01                      11/30/07

FLEETWOOD ENTERPRISES INC/DE/           DE       2.02,9.01                      12/06/07

FLOW INTERNATIONAL CORP                 WA       1.01,9.01                      12/04/07

Fortress International Group, Inc.      DE       1.01,2.01,3.02,8.01,9.01       11/30/07

FREEPORT MCMORAN COPPER & GOLD INC      DE       1.01                           11/30/07

Frontier Airlines Holdings, Inc.        DE       8.01,9.01                      12/05/07

GANDER MOUNTAIN CO                      MN       2.02,9.01                      12/06/07

GAP INC                                 DE       7.01,9.01                      12/06/07

GEMINI EXPLORATIONS, INC.               NV       3.02                           12/05/07

GENITOPE CORP                           DE       5.03,9.01                      12/03/07

GEODYNE ENERGY INCOME LTD PARTNERSHIP   OK       9.01                           11/15/07    AMEND

GEODYNE ENERGY INCOME LTD PARTNERSHIP   OK       9.01                           11/15/07    AMEND

GEODYNE ENERGY INCOME LTD PARTNERSHIP   OK       9.01                           11/15/07    AMEND

GEODYNE INSTITUTIONAL PENSION ENERGY    OK       9.01                           11/15/07    AMEND

GEODYNE INSTITUTIONAL PENSION ENERGY    TX       9.01                           11/15/07    AMEND

GEOKINETICS INC                         DE       7.01,9.01                      12/03/07

GEORGIA POWER CO                        GA       8.01,9.01                      11/29/07

GIGABEAM CORP                           DE       3.01,9.01                      11/30/07

GLOBAL CASINOS INC                      UT       1.01,9.01                      12/05/07

GLOBAL CROSSING LTD                              2.02,7.01,9.01                 12/06/07

GLOBAL INDUSTRIES LTD                   LA       8.01                           11/26/07

GOLD HORSE INTERNATIONAL, INC.          FL       1.01,2.03,3.02,7.01,9.01       11/30/07

GOLD RESOURCE CORP                      CO       3.02,9.01                      12/05/07

Golden Aria Corp.                                1.01,2.01,3.02,5.02,9.01       10/15/07

Golden Pond Healthcare, Inc.            DE       8.01,9.01                      11/08/07

Golden West Brewing Company, Inc.       CA       1.01,3.02,5.02,9.01            12/04/07

GOOD TIMES RESTAURANTS INC              NV       1.01                           12/06/07

GOODYEAR TIRE & RUBBER CO /OH/          OH       8.01,9.01                      12/06/07

Gottaplay Interactive, Inc.             NV       5.02                           12/06/07

GOTTSCHALKS INC                         DE       2.02,9.01                      12/06/07

GRAHAM CORP                             DE       1.01,1.02,9.01                 12/05/07

GREAT ATLANTIC & PACIFIC TEA CO INC     MD       8.01                           12/03/07    AMEND

GREEN PLAINS RENEWABLE ENERGY, INC.     IA       8.01,9.01                      12/05/07

HANCOCK FABRICS INC                     DE       7.01,8.01,9.01                 12/05/07

HANDLEMAN CO /MI/                       MI       2.02,9.01                      12/06/07

Harbor Acquisition Corp.                DE       1.01,9.01                      10/17/06    AMEND

Harry & David Holdings, Inc.            DE       1.01                           11/30/07

HARVARD BIOSCIENCE INC                  DE       1.01,2.01,9.01                 11/30/07

HARVARD BIOSCIENCE INC                  DE       2.05                           07/26/05    AMEND

Hawaiian Telcom Communications, Inc.    DE       2.01,9.01                      11/30/07

HAYNES INTERNATIONAL INC                DE       5.02                           12/04/07

HECLA MINING CO/DE/                     DE       5.03,9.01                      12/03/07

HELMERICH & PAYNE INC                   DE       5.02,9.01                      12/04/07

HENNESSY ADVISORS INC                            2.02,9.01                      12/06/07

HERLEY INDUSTRIES INC /NEW              DE       5.02                           12/04/07

HEXCEL CORP /DE/                        DE       7.01,9.01                      12/06/07

HOMELAND ENERGY SOLUTIONS LLC                    1.01,2.03,5.02,7.01,9.01       11/30/07

HOPFED BANCORP INC                      DE       5.03,9.01                      12/05/07

ICF International, Inc.                 DE       5.03,9.01                      12/05/07

INDYMAC BANCORP INC                     DE       7.01,9.01                      12/05/07

InfoLinx Communications Ltd.            NV       8.01                           12/05/06

InfuSystem Holdings, Inc                DE       1.01,2.01,2.02,2.03,5.02,5.03, 12/06/07    AMEND
Inland American Real Estate Trust, In   MD       5.03,9.01                      12/06/07

INNERWORKINGS INC                                2.01,8.01,9.01                 11/30/07

Innophos Holdings, Inc.                          5.03                           12/06/07

INOVIO BIOMEDICAL CORP                           5.03,9.01                      11/30/07

INSIGHTFUL CORP                         DE       8.01,9.01                      12/03/07

Intcomex, Inc.                          DE       5.05,9.01                      12/03/07

INTEGRA BANK CORP                       IN       7.01,9.01                      12/06/07

INTERNATIONAL RECTIFIER CORP /DE/       DE       5.02                           12/02/07

ION GEOPHYSICAL CORP                    DE       5.02,7.01                      12/01/07

ION GEOPHYSICAL CORP                    DE       3.02,3.03,9.01                 12/06/07

ION MEDIA NETWORKS INC.                 DE       1.01,9.01                      11/30/07

Isilon Systems, Inc.                    DE       5.02                           11/30/07

ITERIS, INC.                            DE       8.01                           11/30/07

ITEX CORP                               NV       7.01,9.01                      12/06/07

ITRON INC /WA/                          WA       5.03                           12/04/07

J P MORGAN CHASE & CO                   DE       9.01                           12/05/07

JACOBS FINANCIAL GROUP, INC.            DE       1.01,9.01                      12/03/07

JAMBA, INC.                             DE       5.02,9.01                      12/01/07

JCM PARTNERS LLC                        DE       3.02                           12/01/07

JMAR TECHNOLOGIES INC                   DE       5.02                           12/01/07

JMP Group Inc.                          DE       1.01                           11/30/07

JOHN D. OIL & GAS CO                             1.01,2.03,9.01                 11/30/07

KBS Real Estate Investment Trust, Inc   MD       1.01,2.01,2.03,8.01,9.01       11/15/07

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                           12/05/07

KINDER MORGAN MANAGEMENT LLC            DE       7.01                           12/05/07

KIRKLANDS INC                                    2.02,9.01                      11/30/07

KOHLS CORPORATION                       WI       7.01,9.01                      12/06/07

KORN FERRY INTERNATIONAL                DE       2.02,9.01                      12/06/07

KRISPY KREME DOUGHNUTS INC              NC       2.02,7.01,9.01                 12/06/07

LABOR READY INC                         WA       7.01,8.01,9.01                 12/03/07

LAKELAND INDUSTRIES INC                 DE       2.02,9.01                      12/06/07

LANCASTER COLONY CORP                   OH       8.01                           12/06/07

LANGER INC                              NY       8.01,9.01                      12/06/07

LCC INTERNATIONAL INC                   DE       1.01,9.01                      11/30/07

LEAF Equipment Leasing Income Fund II   DE       1.01,2.01,2.03                 11/30/07

Legacy Bancorp, Inc.                    DE       7.01,9.01                      12/06/07

LEGACY RESERVES LP                      DE       7.01,9.01                      12/06/07

LEHMAN BROTHERS HOLDINGS INC            DE       5.02,9.01                      12/06/07

Liberator BDC Inc.                               5.03,9.01                      12/04/07

LIGAND PHARMACEUTICALS INC              DE       5.02,5.03,9.01                 12/06/07

LIPID SCIENCES INC/                     AZ       8.01                           12/03/07

LIQUIDITY SERVICES INC                           2.02,9.01                      12/06/07

LOGILITY INC                            GA       2.02,9.01                      12/06/07

Lotus Pharmaceuticals, Inc.                      7.01,9.01                      12/05/07    AMEND

LUDVIK CAPITAL INC                      DE       8.01,9.01                      11/14/07

LYONDELL CHEMICAL CO                    DE       3.03,9.01                      12/06/07

MACK CALI REALTY CORP                   MD       5.02,8.01,9.01                 12/04/07

MAD CATZ INTERACTIVE INC                         5.02,9.01                      11/30/07

MAGMA DESIGN AUTOMATION INC             DE       8.01                           12/06/07

MAJESCO ENTERTAINMENT CO                DE       5.02,8.01,9.01                 12/06/07

MANNATECH INC                           TX       5.03,9.01                      11/30/07

MAXIMUS INC                             VA       5.03,9.01                      12/05/07

MAXUS REALTY TRUST INC.                          1.01,2.01,2.03,9.01            11/30/07

MBIA INC                                CT       8.01,9.01                      12/06/07

MCMORAN EXPLORATION CO /DE/             DE       1.01                           11/30/07

MEDALLION FINANCIAL CORP                DE       8.01,9.01                      12/05/07

MEDICAL PROPERTIES TRUST INC                     1.01,1.02,2.03,7.01,9.01       11/30/07

MEMORY PHARMACEUTICALS CORP                      3.01,9.01                      12/05/07

MENS WEARHOUSE INC                      TX       5.03,9.01                      12/04/07

MERRILL LYNCH & CO INC                  DE       8.01,9.01                      12/06/07

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01                      12/03/07

METHODE ELECTRONICS INC                 DE       2.02,9.01                      12/06/07

METRO ONE TELECOMMUNICATIONS INC        OR       5.02,7.01,9.01                 11/30/07

MINISTRY PARTNERS INVESTMENT CORP       CA       5.02                           12/01/07

MOHAWK INDUSTRIES INC                   DE       5.03,9.01                      12/04/07

MORRIS PUBLISHING GROUP LLC             GA       2.01,2.04,9.01                 11/30/07

MoSys, Inc.                             CA       5.02,9.01                      12/03/07

MOVADO GROUP INC                        NY       2.02,9.01                      12/06/07

MPC CORP                                CO       1.01,8.01,9.01                 12/05/07

MPC CORP                                CO       1.01,9.01                      12/03/07

MQ ASSOCIATES INC                                5.02                           11/30/07

MS STRUCTURED SATURNS SERIES 2002-11    DE       8.01,9.01                      12/03/07

MS STRUCTURED SATURNS SERIES 2003-15    DE       8.01,9.01                      12/03/07

MS STRUCTURED SATURNS SERIES 2003-8     DE       8.01,9.01                      12/03/07

MS STRUCTURED SATURNS SERIES 2004-1     DE       8.01,9.01                      12/03/07

MTI TECHNOLOGY CORP                     DE       5.02                           11/30/07

MyStarU.com,Inc.                                 4.01,9.01                      10/31/07    AMEND

NAPCO SECURITY SYSTEMS INC              DE       5.03,9.01                      12/04/07

NARA BANCORP INC                        DE       5.02,9.01                      11/30/07

NARROWSTEP INC                          DE       1.01,9.01                      11/30/07

NATIONAL REALTY & MORTGAGE INC          NV       5.02                           12/01/07

NATIONAL SEMICONDUCTOR CORP             DE       2.02,9.01                      12/06/07

NaturalNano , Inc.                      NV       5.03,9.01                      12/06/07

nCoat, Inc.                             DE       1.01,9.01                      11/30/07

NCR CORP                                MD       7.01,9.01                      12/06/07

NEOMAGIC CORP                           DE       2.02,9.01                      12/06/07

NETFABRIC HOLDINGS, INC                 DE       4.01,9.01                      12/04/07

NewMarket Technology Inc                NV       1.01,2.01,2.03,3.02,7.01,9.01  11/30/07

NORDSTROM INC                           WA       7.01                           12/06/07

NORTHERN OIL & GAS, INC.                         5.03,5.05,9.01                 11/30/07

NYSE Euronext                           DE       5.02,9.01                      12/03/07

OGLETHORPE POWER CORP                   GA       5.02                           12/03/07

OI CORP                                 OK       5.03,9.01                      12/06/07

ON ASSIGNMENT INC                       DE       5.02,9.01                      12/06/07

ONLINE RESOURCES CORP                   DE       2.02                           12/06/07

OPTIUM CORP                             DE       2.02,9.01                      09/20/07

PACKAGING CORP OF AMERICA                        5.03,9.01                      12/05/07

PALM INC                                DE       2.02,9.01                      12/06/07

PARALLEL PETROLEUM CORP                 DE       8.01,9.01                      12/06/07

Park Place Energy Corp.                 NV       5.02,9.01                      12/01/07

PATAPSCO BANCORP INC                    MD       8.01,9.01                      12/06/07

PECO ENERGY CO                          PA       8.01,9.01                      10/26/07

PEERLESS SYSTEMS CORP                   DE       5.02,9.01                      11/30/07

PENSON WORLDWIDE INC                    DE       1.01                           12/05/07

People's United Financial, Inc.         DE       7.01,9.01                      12/06/07

PEOPLES COMMUNITY BANCORP INC /MD/      MD       5.03,9.01                      11/30/07

PGT, Inc.                               DE       5.02,5.03,9.01                 12/06/07

PHH CORP                                MD       1.01,9.01                      11/30/07

PINNACLE BANCSHARES INC                 AL       5.03,9.01                      12/05/07

PLATINUM UNDERWRITERS HOLDINGS LTD      D0       1.01,8.01,9.01                 12/03/07

PNA Group, Inc.                         DE       5.02,9.01                      12/06/07

POLYMER GROUP INC                       DE       5.03,9.01                      11/13/07

POWELL INDUSTRIES INC                   NV       2.02,9.01                      12/05/07

PREMIER FINANCIAL BANCORP INC           KY       8.01,9.01                      12/05/07

PREMIER WEALTH MANAGEMENT, INC.         DE       3.01                           12/03/07

PRINCIPAL FINANCIAL GROUP INC           DE       2.02,7.01,9.01                 12/05/07

PROASSURANCE CORP                       DE       5.02,7.01,8.01,9.01            12/05/07

PROS Holdings, Inc.                     DE       7.01,9.01                      12/05/07

PROVIDENT BANKSHARES CORP               MD       7.01,9.01                      12/05/07

PRUDENTIAL FINANCIAL INC                NJ       8.01,9.01                      12/06/07

PSB Holdings, Inc.                               8.01,9.01                      12/05/07

RAMBUS INC                              DE       8.01,9.01                      12/03/07

Reis, Inc.                              MD       2.02,5.03,9.01                 11/30/07    AMEND

RESOURCE AMERICA INC                    DE       2.01                           11/30/07

REYNOLDS AMERICAN INC                            5.02,9.01                      11/30/07

ROYALITE PETROLEUM CO INC.              NV       1.01,7.01,9.01                 11/30/07

SABINE ROYALTY TRUST                    TX       2.02,9.01                      12/05/07

SAKS INC                                TN       8.01,9.01                      12/06/07

SALISBURY BANCORP INC                   CT       5.03,9.01                      12/04/07

SECURE ALLIANCE HOLDINGS CORP           DE       1.01,9.01                      12/06/07

SECURE COMPUTING CORP                   DE       1.01,5.02,9.01                 11/30/07

SELIGMAN NEW TECHNOLOGIES FUND, INC              7.01                           12/06/07

SEMPRA ENERGY                           CA       5.03                           12/04/07

SHAW GROUP INC                          LA       2.02,9.01                      12/06/07

SHELTER PROPERTIES II LTD PARTNERSHIP   SC       1.01,2.03,9.01                 11/30/07

SIMEX TECHNOLOGIES INC                  DE       2.01,3.02,3.03,5.01,5.02,5.03, 11/29/07

Siouxland Ethanol, LLC                  NE       5.02                           12/01/07

SLM FUNDING LLC                         DE       9.01                           12/06/07

SMITH & WESSON HOLDING CORP             NV       1.01,2.03,9.01                 11/30/07

SMITH & WESSON HOLDING CORP             NV       2.02,9.01                      12/06/07

SMITH MICRO SOFTWARE INC                DE       1.01,9.01                      11/30/07

Somaxon Pharmaceuticals, Inc.           DE       1.02,5.02,5.03,9.01            12/06/07

SONOCO PRODUCTS CO                      SC       5.03,9.01                      12/05/07

SONORAN ENERGY INC                      WA       3.02                           11/30/07

SONUS PHARMACEUTICALS INC               DE       5.03,9.01                      12/04/07

SOURCE INTERLINK COMPANIES INC          DE       2.02,7.01,9.01                 12/06/07

SOUTHERN MICHIGAN BANCORP INC           MI       1.01,2.01,9.01                 12/01/07

SOUTHERN MISSOURI BANCORP INC           MO       5.03,9.01                      11/30/07

SOUTHERN STAR ENERGY INC.               NV       1.01,3.02,9.01                 11/22/07

SOVEREIGN BANCORP INC                   PA       7.01,9.01                      12/06/07

SPACEHAB INC \WA\                       WA       5.02                           12/03/07

SPIRE CORP                              MA       1.01,9.01                      11/30/07

SPX CORP                                DE       8.01,9.01                      12/06/07

STANDARD CAPITAL CORP                   DE       5.02                           12/06/07

STEEL DYNAMICS INC                      IN       8.01,9.01                      12/03/07

STERLING CONSTRUCTION CO INC            DE       7.01,9.01                      12/06/07

SUMTOTAL SYSTEMS INC                    DE       5.03,9.01                      11/30/07

SUNRISE TELECOM INC                              5.02,9.01                      12/05/07

Surfect Holdings, Inc                   NV       1.01,1.02,2.03,3.02,9.01       11/30/07

Symmetry Holdings Inc                   DE       5.03,8.01,9.01                 12/05/07

SYNOPSYS INC                            DE       2.02,9.01                      12/06/07

Synovics Pharmaceuticals                NV       1.01,2.03,9.01                 11/30/07

TAPIMMUNE INC                           NV       2.01,8.01                      12/05/07

TARGET CORP                             MN       8.01,9.01                      12/06/07

TARGETED GENETICS CORP /WA/             WA       8.01,9.01                      12/03/07

TECH OPS SEVCON INC                     DE       2.02,9.01                      09/30/07

TELULAR CORP                            DE       5.02                           12/04/07

Tennessee Valley Authority                       5.02                           12/06/07

TEXHOMA ENERGY INC                               1.01,3.02,9.01                 11/28/07

THOMAS GROUP INC                        DE       8.01,9.01                      12/05/07

Thomas Weisel Partners Group, Inc.      DE       8.01                           12/06/07

TOLL BROTHERS INC                       DE       2.02,9.01                      12/06/07

TORO CO                                 DE       2.02,9.01                      12/06/07

TORTOISE CAPITAL RESOURCES CORP                  1.01,9.01                      11/30/07

Tradeshow Products, Inc.                NV       1.01,2.01,3.02,4.01,5.01,5.02, 12/03/07

TRUE PRODUCT ID, INC.                   DE       8.01                           12/06/07

TWIN DISC INC                           WI       5.03,9.01                      12/06/07

UAP HOLDING CORP                        DE       5.02,9.01                      12/02/07

UNIFY CORP                              DE       4.02                           12/06/07

UNITED HERITAGE CORP                    UT       3.01,9.01                      11/30/07

UNITED INDUSTRIAL CORP /DE/             DE       1.01,9.01                      11/30/07

UNITED STATES STEEL CORP                DE       8.01,9.01                      12/05/07

UNITED STATES STEEL CORP                DE       8.01,9.01                      12/05/07

UNITED STATES STEEL CORP                DE       5.03,9.01                      11/30/07

UNITEDHEALTH GROUP INC                  MN       5.02,8.01,9.01                 12/05/07

UNIVERSAL TRAVEL GROUP                  NV       2.02,7.01,9.01                 12/03/07

UNIVERSAL TRAVEL GROUP                  NV       2.01,2.03,3.02,7.01,9.01       12/03/07

Unum Group                              DE       8.01,9.01                      12/04/07

USA TRUCK INC                           DE       8.01,9.01                      12/05/07

UTi WORLDWIDE INC                                2.02,9.01                      12/06/07

VELOCITY EXPRESS CORP                   DE       5.02,5.03,8.01,9.01            12/06/07

Veri-Tek International, Corp.           MI       5.02,5.03,7.01,9.01            12/05/07

Verigy Ltd.                             U0       5.02,8.01,9.01                 12/03/07

VISUAL SCIENCES, INC.                   CA       8.01,9.01                      12/05/07

Voyager Learning CO                     DE       4.01,9.01                      12/03/07

W HOLDING CO INC                        PR       7.01,9.01                      12/05/07

W R GRACE & CO                          DE       7.01                           12/06/07

WABASH NATIONAL CORP /DE                DE       5.02                           11/30/07

WELLCARE HEALTH PLANS, INC.             DE       8.01                           11/28/07

Wells Timberland REIT, Inc.             MD       1.01                           11/26/07

WESCO FINANCIAL CORP                    CA       5.03,9.01                      12/05/07

WIFIMED HOLDINGS COMPANY, INC.          NV       1.01,2.03,3.02,9.01            11/30/07

WIRELESS XCESSORIES GROUP INC           DE       8.01                           12/05/07

WUHAN GENERAL GROUP (CHINA), INC        NV       1.01,8.01,9.01                 11/30/07

YTB International, Inc.                 NY       8.01,9.01                      12/05/07

Zealous Trading Group, Inc.             NV       5.02                           12/01/07

ZENITH NATIONAL INSURANCE CORP          DE       8.01,9.01                      12/06/07

ZIM CORP                                A6       1.01,2.01                      12/04/07

ZIMMER HOLDINGS INC                     DE       1.01,2.03,9.01                 11/30/07



Modified: 12/07/2007